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2,290 records on file, newest first
2024-01-09 /CRD 6416854 /NY
FINRA Bars Tilak J. Shah for Refusing to Provide Testimony
Refused to appear for on-the-record testimony requested by FINRA in connection with investigation into Form U5 filing; used personal bank account to pay customer premiums and submitted inaccurate insurance applications
2024-01-09 /CRD 7515082 /NY
FINRA Sanctions Chaitanya Goyal for Possessing Prohibited Item During Exam
Possessed and accessed prohibited cellphone during unscheduled breaks while taking the Securities Trader Representative Series 57 exam
2024-01-09 /CRD 6689914 /NY
FINRA Sanctions Michael Hartnagel Jr. for Falsifying Continuing Education Certification
Falsely certified to the State of New York that he personally completed 15 hours of continuing education required to renew state insurance license when another person completed it on his behalf
2024-01-09 /CRD 5715615 /NY
FINRA Sanctions Matthew Robert Wilkow for Falsifying Continuing Education Certification
Falsely certified to the State of New York that he personally completed 15 hours of continuing education required to renew state insurance license when another person completed it on his behalf
2024-01-09 /CRD 5702165 /NY
Michael Philip Capolongo Barred by FINRA for Failure to Provide Information
Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar
2024-01-09 /CRD 7490696 /LA
Isaiah Frection Barred by FINRA for Failure to Provide Information
Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar
2024-01-08 /CRD 7153386 /NY
FINRA Sanctions Joseph Duffy Collins for Falsifying Continuing Education Certification
Falsely certified to the State of New York that he personally completed 15 hours of continuing education required to renew state insurance license when another person completed it on his behalf
2024-01-08 /CRD 6506773 /NY
FINRA Sanctions Michael Louis Esposito for Falsifying Continuing Education Certification
Falsely certified to the State of New York that he personally completed 15 hours of continuing education required to renew state insurance license when another person completed it on his behalf
2024-01-08 /CRD 5510849 /NY
FINRA Sanctions Tara Ann Nesdill for Falsifying Continuing Education Certification
Falsely certified to the State of New York that she personally completed 15 hours of continuing education required to renew state insurance license when another person completed it on her behalf
2024-01-08 /CRD 1896357 /NY
FINRA Sanctions Maureen A. O’Donnell for Falsifying Continuing Education Certification
Falsely certified to the State of New York that she personally completed 15 hours of continuing education required to renew state insurance license when another person completed it on her behalf
2024-01-08 /CRD 6778355 /CA
Johnathan Paul Hagood Barred by FINRA for Failure to Provide Information
Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar
2024-01-08 /CRD 6110664 /NV
Adriano Schultz Barred by FINRA for Failure to Provide Information
Failure to provide information pursuant to FINRA Rule 9552(h) resulting in bar